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Detailed Report
Registration History
1995200020052010201520202025IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2019 - Present (5 years)BWESTERN INTERNATIONAL SECURITI... (CRD# 39262)2018 - Present (6 years)BNORTHEAST SECURITIES, LLC (CRD# 25996)2000 - 2018 (18 years)BANDOVER BROKERAGE, L.L.C. (CRD# 33848)2000 - 2000 (<1 year)BGKN SECURITIES CORP. (CRD# 19415)1997 - 1997 (<1 year)BTHE BOSTON GROUP (CRD# 37652)1995 - 1997 (1 year)BSTRATTON OAKMONT INC. (CRD# 18692)1994 - 1995 (1 year)
Disclosure(s)
View By:
5/27/1997
Customer Dispute
Award / Judgment
11/27/1995
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/18/2018
B
New Jersey 11/18/2018
B
California 11/18/2018
IA
New Jersey 11/8/2019
IA
California 2/9/2022
B
New Mexico 11/7/2019
B
Colorado 11/7/2019
IA
New Mexico 2/10/2022
B
Connecticut 1/3/2020
B
New York 11/18/2018
B
Florida 11/18/2018
IA
New York 6/18/2021
IA
Florida 12/11/2019
B
North Carolina 1/3/2019
B
Georgia 11/7/2019
IA
North Carolina 2/10/2022
B
Idaho 11/7/2019
B
Pennsylvania 11/18/2018
B
Illinois 12/4/2019
B
South Carolina 8/9/2022
B
Indiana 11/7/2019
B
Texas 11/18/2019
B
Maine 1/3/2020
B
Virginia 1/3/2020
B
Maryland 1/3/2020

SRO Registrations

B
 FINRA

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
Huntington, NY
Registered with this firm since 11/8/2019
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
Huntington, NY
Registered with this firm since 11/18/2018
Previous Registration(s)
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B
 03/27/2000 - 12/31/2018 NORTHEAST SECURITIES, LLC (CRD#:25996) MITCHEL FIELD, NY
B
 03/27/2000 - 04/04/2000 ANDOVER BROKERAGE, L.L.C. (CRD#:33848) MONTEBELLO, NY
B
 04/28/1997 - 12/09/1997 GKN SECURITIES CORP. (CRD#:19415) NEW YORK, NY
B
 09/29/1995 - 04/21/1997 THE BOSTON GROUP (CRD#:37652) LOS ANGELES, CA
B
 06/10/1994 - 10/04/1995 STRATTON OAKMONT INC. (CRD#:18692)
FINRA expelled the firm on 06/29/1998
LAKE SUCCESS, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.